WEALTHSOURCE PARTNERS, LLC

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Wealthsource Partners is based out of San Luis Obispo. Wealthsource Partners is a large advisory firm with 1565 clients and discretionary assets under management (AUM) of $1,112,276,478 (Form ADV from 2020-03-29). Their last reported 13F filing for Q1 2020 included $634,631,000 in managed 13F securities and a top 10 holdings concentration of 46.38%. Wealthsource Partners's largest holding is iShares Core U.S. Treasury Bond ETF with shares held of 2,436,845. Wealthsource Partners has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 18 13F filings

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03/31/2020

13F Activity

  • Market Value $634.631 Million
  • Prior Market Value $762.027 Million
  • New Purchases45 stocks
  • Additional Purchases96 stocks
  • Sold out of114 stocks
  • Reduced holdings in193 stocks
  • Top 10 Holdings % 46.38 %
  • Turnover % [1]:46.22%
  • Turnover Alt % [2]: 28.15 %
  • Time Held Top20:3.70 quarters
  • Time Held Top10:3.00 quarters
  • Time Held All:7.29 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 17.92%
Performance Last 4 Quarters: 3.59%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

WEALTHSOURCE® PARTNERS, LLC
735 TANK FARM ROAD SUITE 240
SAN LUIS OBISPO CA    93401
Country: United States

Business Phone: 805-546-1000
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 46
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 304,509,000
Total Number of Clients: 1565
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (4),11.E (2),11.E (4),11.H (2)
Data above was derived from SEC filings.

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WEALTHSOURCE PARTNERS, LLC

ownership team - last updated 2020-03-29
Name Title Start Date Direct/Indirect % Ownership

WEALTHSOURCE PARTNERS, LLC

ownership team - last updated 2019-11-15
Name Title Start Date Direct/Indirect % Ownership
VELLUM FINANCIAL, LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
SULLIVAN, ARLO, BRYAN CHIEF EXECUTIVE OFFICER & MANAGING MEMBER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF DEVELOPMENT OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF OPERATING OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
ITO, DAVID, AKIRA CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2016-01-01
AVANT-GARDE ADVISORS LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
SHEA, CHRISTOPHER, MAXIME CHIEF INVESTMENT OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRURO ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2012-03-01
CATAMETRICS MANAGEMENT, LLC MANAGING MEMBER direct 2014-07-01
CATAMETRICS MANAGEMENT, LLC PRINCIPAL direct 2014-07-01
SULLIVAN, ARLO, BRYAN MANAGING MEMBER VELLUM FINANCIAL, LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF FINANCIAL OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 08/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF EXECUTIVE OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 07/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER AVANT-GARDE ADVISORS LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01

WEALTHSOURCE PARTNERS, LLC

ownership team - last updated 2019-07-30
Name Title Start Date Direct/Indirect % Ownership
SULLIVAN, ARLO, BRYAN CHIEF EXECUTIVE OFFICER & MANAGING MEMBER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
VELLUM FINANCIAL, LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF DEVELOPMENT OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF OPERATING OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
ITO, DAVID, AKIRA CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2016-01-01
AVANT-GARDE ADVISORS LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
SHEA, CHRISTOPHER, MAXIME CHIEF INVESTMENT OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRURO ASSET MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2012-03-01
CATAMETRICS MANAGEMENT, LLC MANAGING MEMBER direct 2014-07-01
CATAMETRICS MANAGEMENT, LLC PRINCIPAL direct 2014-07-01
SULLIVAN, ARLO, BRYAN MANAGING MEMBER VELLUM FINANCIAL, LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF FINANCIAL OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 08/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF EXECUTIVE OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 07/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER AVANT-GARDE ADVISORS LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01

WEALTHSOURCE PARTNERS, LLC

ownership team - last updated 2019-05-02
Name Title Start Date Direct/Indirect % Ownership
VELLUM FINANCIAL, LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
SULLIVAN, ARLO, BRYAN CHIEF EXECUTIVE OFFICER & MANAGING MEMBER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF DEVELOPMENT OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF OPERATING OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
ITO, DAVID, AKIRA CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2016-01-01
MAY, DOUGLAS, BOYD CHIEF INVESTMENT OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC CHIEF INVESTMENT OFFICER direct 2018-09-01
AVANT-GARDE WEALTH MANAGEMENT INC. MEMBER 09/01/2018 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
SULLIVAN, ARLO, BRYAN MANAGING MEMBER VELLUM FINANCIAL, LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF FINANCIAL OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 08/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF EXECUTIVE OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 07/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01

WEALTHSOURCE PARTNERS, LLC

ownership team - last updated 2018-10-03
Name Title Start Date Direct/Indirect % Ownership
VELLUM FINANCIAL, LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
AVANT-GARDE ADVISORS LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
SULLIVAN, ARLO, BRYAN CHIEF EXECUTIVE OFFICER & MANAGING MEMBER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF DEVELOPMENT OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF OPERATING OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
SMITH, KELLY, MORROW CHIEF STRATEGY OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2012-05-01
VELLUM FINANCIAL, LLC MEMBER direct 2012-05-01
WELLSOURCE CAPITAL PARTNERS, LLC MEMBER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MEMBER indirect 2012-05-01
WEALTHSOURCE PARTNERS, LLC CHIEF STRATEGY OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF STRATEGY OFFICER direct 2015-11-01
ITO, DAVID, AKIRA CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2016-01-01
MAY, DOUGLAS, BOYD CHIEF INVESTMENT OFFICER 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC CHIEF INVESTMENT OFFICER direct 2018-09-01
SULLIVAN, ARLO, BRYAN MANAGING MEMBER VELLUM FINANCIAL, LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER AVANT-GARDE ADVISORS LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
PATTON, ERIC, DWAYNE CHIEF FINANCIAL OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 08/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF EXECUTIVE OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 07/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01

WEALTHSOURCE PARTNERS, LLC

ownership team - last updated 2018-05-09
Name Title Start Date Direct/Indirect % Ownership
VELLUM FINANCIAL, LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
AVANT-GARDE ADVISORS LLC MEMBER 02/01/2016 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC MEMBER direct 2015-11-01
SULLIVAN, ARLO, BRYAN CHIEF EXECUTIVE OFFICER & ELECTED MANAGER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01
PATTON, ERIC, DWAYNE CHIEF OPERATING OFFICER & ELECTED MANAGER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
SMITH, KELLY, MORROW CHIEF STRATEGY OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2012-05-01
VELLUM FINANCIAL, LLC MEMBER direct 2012-05-01
WELLSOURCE CAPITAL PARTNERS, LLC MEMBER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MEMBER indirect 2012-05-01
WEALTHSOURCE PARTNERS, LLC CHIEF STRATEGY OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF STRATEGY OFFICER direct 2015-11-01
ITO, DAVID, AKIRA CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL direct 2016-01-01
NAGELL, LUKE, PATRICK CHIEF INVESTMENT OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHSOURCE PARTNERS, LLC CHIEF INVESTMENT OFFICER direct 2018-01-01
SULLIVAN, ARLO, BRYAN MANAGING MEMBER VELLUM FINANCIAL, LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VELLUM FINANCIAL, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2009-09-01
VELLUM FINANCIAL, LLC MANAGING MEMBER direct 2009-09-01
WELLSOURCE CAPITAL PARTNERS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2012-12-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2015-11-01
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER AVANT-GARDE ADVISORS LLC 09/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. MANAGING MEMBER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC MANAGING MEMBER indirect 2009-09-01
PATTON, ERIC, DWAYNE CHIEF FINANCIAL OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 08/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CFO indirect 2009-08-01
AVANT-GARDE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WEALTHSOURCE PARTNERS, LLC CHIEF FINANCIAL OFFICER indirect 2009-08-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF OPERATING OFFICER direct 2015-11-01
DUBRAVAC, JON, EDWARD CHIEF EXECUTIVE OFFICER AVANT-GARDE WEALTH MANAGEMENT INC. 07/01/2009 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
AVANT-GARDE WEALTH MANAGEMENT INC. CEO indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF EXECUTIVE OFFICER indirect 2009-07-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF DEVELOPMENT OFFICER & ELECTED MANAGER direct 2015-11-01
WEALTHSOURCE PARTNERS, LLC CHIEF BUSINESS DEVELOPMENT OFFICER direct 2015-11-01

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